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ADV40 7/97 County: Taxing Official: Tax Year Mailing Address: Telephone Number: Business Personal Property Return (File this tax return between October 1 and December 31 with the above taxing official)
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What is adv-40 797?
ADV-40 797 is a form used by the U.S. Securities and Exchange Commission (SEC) to collect information from investment advisers.
Who is required to file adv-40 797?
Investment advisers registered with the SEC are required to file adv-40 797.
How to fill out adv-40 797?
Investment advisers can fill out adv-40 797 electronically through the SEC's Investment Adviser Registration Depository (IARD) system.
What is the purpose of adv-40 797?
The purpose of adv-40 797 is to provide the SEC with information about the activities and financial condition of registered investment advisers.
What information must be reported on adv-40 797?
Information such as assets under management, number of clients, types of advisory services offered, and any disciplinary history must be reported on adv-40 797.
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